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Mature Solo Practitioner, North Carolina
Profile Contents
Profile #: 610322
Membership Level: Basic
Last Login : 11/10/18, 12:03 PM
My Story
I have been in the financial services field for 35 years. Owned my own firm, worked as a top person at an International Bank. I am looking to takeover an RIA and work remotely. I will travel to see clients quarterly and implement digital platforms. You are looking to retire from your RIA, and your clients have managed products and fee based service.
Personal Information
Advisor For: 10+ Years
Age range: 56-60
Role in Practice: Producing Owner
Non-solicitation agreement with current employer? No
Non-compete agreement with current employer? No
Professional Designations: CFP
Professional Affiliations: No affiliations
Securities Licenses Held: Series 7, Series 63, Series 65
Securities Licenses Held at:
- A small independent broker dealer (revenue < $50 million)
- Other
Degrees held:
- Management Certificate in Finance, 2017, Cornell, New York, New York, USA
- Certified Investment Manager, 2017, Canadian Securities Institute, Toronto, Ontario, Canada
Practice Information
This profile represents: An individual practitioner leaving a team, ensemble or firm where you operate as one unit.
This person or firm is classified as: A fee-only independent RIA
Incorporation Status: Other
Geographic location serviced: National
RIA Assets Under Management: $25 million - $99 million
Number of Advisors in Practice including owner: 1
Sources of the firm's revenue: 75-99% Fee based revenue/remainder from commissionable revenue
The owners are compensated by: Fees + ownership profits
The non-owner advisors are compensated by: Salary + bonus
Compensation Breakdown: 75-99% Fee based revenue/remainder from commissionable revenue
You clients pay you based on: % of AUM
